Implementing CATO using Factors with Magnitude Trevor Bench-Capon and Katie Atkinson University of Liverpool

Overview Program Example with 5 variations Some lessons Types of acceptance condition Roles of magnitudes Roles of valus

Program Written in SWI Prolog CATO Abstract Factor Heirarchy rewritten as 2-regular ADF Al-Abdulkarim, Latifa, Katie Atkinson, and Trevor Bench-Capon. "Factors, issues and values: Revisiting reasoning with cases." In Proceedings of the 15th international conference on artificial intelligence and law, pp. 3-12. ACM, 2015. One Prolog procedure for each non-leaf node. Assigns a value in range [0,1]. Like Acceptance conditions in an ADF Base levels factors are entered as facts Prolog is highly procedural: imperative language might have been a better choice.

Squib Plaintiff produced a widget. This was a distinctive product, but something similar was manufactured in China. (uniqueProduct, but less than 1). Drawings of the widget were kept in an unlocked drawer in the plaintiff’s office (securityMeasures but less than 1). The defendant was in the plaintiff’s office and was left alone. He searched the desk and looked at the drawings and photographed them on his phone (invasiveTechniques). Defendant claimed that the drawings confirmed his view that the product was reverse engineerable (infoReverseEngineerable but less than 1). Defendant also claimed that the information could have been obtained from the Chinese company (infoObtainableElsewhere but less than 1).

Initial Parameters weight(qm,1). %Questionable methods and weight(lm,1). % Legitimate methods have equal weights   threshold(re,0.5). % Thresholds are all neutral between parties threshold(lm,0.5). threshold(mw,0.5).

Initial Facts: all 0 except % Booleans invasiveTechniques(1). % Factors with Magnitude securityMeasures(0.6). % Security measures somewhat lax, but intended to keep info secret uniqueProduct(0.8). % Similar product, but not in US infoReverseEngineerable(0.3). % Product considered rather hard to reverse engineer infoObtainableElsewhere(0.4). %Obtainable from Chinese firm

First Run – Find for Plaintiff ?- go(T). [criminal,because,invasiveTechniques]. [illegalMethods,because,criminal] [questionableMeans,because,illegalMethods,qm,preferred,to,lm,college,watercolour] questionableMeans(1) [legitimatelyObtainable(0.4),because,infoKnownToCompetitors(0),or,infoObtainableElsewhere(0.4)] legitimatelyObtainable(0.4) [improperMeans,by,balancing,questionableMeans,against,legitimatelyObtainable,iSSUE,fAVOURS,pLAINTIFF] [infoMiasappropriated,because,improperMeans,iSSUE,fAVOURS,pLAINTIFF] [maintainSecrecyOutsiders(1),becasuse,secretsDisclosedOutsiders(0)] [limitations(1),because,uniqueProduct(0.8),or,maintainSecrecyOutsiders(1)] [not,known,because,limitations,exceeds,threshold,space,aero] [available,rejected,as,default] [knownOrAvailable(0),because,known(0),or,available(0)] [infoUseful(1),because,uniqueProduct,exceeds,threshold] [infoValuable,because,infoUseful,exceeds,threshold] [adequateEfforts,because,securityMeasures,exceeds,threshold,bryce] [effortstoMaintainSecrecy,because,adequateEfforts] [infoTradeSecret,because,both,infoValuable,and,effortstoMaintainSecrecy,iSSUE,fAVOURS,pLAINTIFF] [secretMisappropriated,because,infoMisappropriated,and,infoTradeSecret,iSSUE,fAVOURS,pLAINTIFF] [tradeSecretMisappropriation,because,secretMisappropriated,fIND,for,pLAINTIFF] T = 1.

First Run- Key Points legitimatelyObtainable(0.4) [improperMeans,by,balancing,questionableMeans,against,legiti matelyObtainable,iSSUE,fAVOURS,pLAINTIFF] [knownOrAvailable(0),because,known(0),or,available(0)] [infoUseful(1),because,uniqueProduct,exceeds,threshold] [infoValuable,because,infoUseful,exceeds,threshold] [adequateEfforts,because,securityMeasures,exceeds,threshold,br yce] [effortstoMaintainSecrecy,because,adequateEfforts] [infoTradeSecret,because,both,infoValuable,and,effortsto MaintainSecrecy,iSSUE,fAVOURS,pLAINTIFF] [secretMisappropriated,because,infoMisappropriated,and,infoTradeSecret,iSSUE,fAVOURS,pLAINTIFF] [tradeSecretMisappropriation,because,secretMisappropriated,fIND,for,pLAINTIFF] T = 1.

Different magnitude  It is argued that the widget could have been more easily reverse engineered than was thought at the lower court. The Chinese widget had been developed without use of confidential info and so the argument of Marian Kay in KFC v Marian Kay should be applied: “Marion-Kay maintains that the recipes and formulas for the making of KFC seasoning are not unique and that Marion-Kay is capable, both financially and technically, of producing KFC seasoning” Reverse engineerable from 0.3 to 0.7

Run 2 – Find for Defendant ?- go(T). [criminal,because,invasiveTechniques] [illegalMethods,because,criminal] [questionableMeans,because,illegalMethods,qm,preferred,to,lm,college,watercolour] questionableMeans(1) [legitimatelyObtainable(0.4),because,infoKnownToCompetitors(0),or,infoObtainableElsewhere(0.4)] legitimatelyObtainable(0.4) [improperMeans,by,balancing,questionableMeans,against,legitimatelyObtainable,iSSUE,fAVOURS,pLAINTIFF] [infoMiasappropriated,because,improperMeans,iSSUE,fAVOURS,pLAINTIFF] [maintainSecrecyOutsiders(1),becasuse,secretsDisclosedOutsiders(0)] [limitations(1),because,uniqueProduct(0.8),or,maintainSecrecyOutsiders(1)] [not,known,because,limitations,exceeds,threshold,space,aero] [available(0.7),because,infoReverseEngineerable,exceeds,threshold] [knownOrAvailable(0.7),because,known(0),or,available(0.7)] [not,infoTradeSecret,because,not,both,infoValuable,and,effortstoMaintainSecrecy,iSSUE,fAVOURS,dEFENDANT] [no,tradeSecretMisappropriation,because,not,both,secret,and,misappropriated,fIND,for,dEFENDANT] T = 0.

Run 2 – Key Points [improperMeans,by,balancing,questionableMeans,against,legitimatelyObtaina ble,iSSUE,fAVOURS,pLAINTIFF] [infoMiasappropriated,because,improperMeans,iSSUE,fAVOURS,pLAINTIFF] [maintainSecrecyOutsiders(1),becasuse,secretsDisclosedOutsiders(0)] [limitations(1),because,uniqueProduct(0.8),or,maintainSecrecyOutsiders(1)] [not,known,because,limitations,exceeds,threshold,space,aero] [available(0.7),because,infoReverseEngineerable,exceeds,threshold] [knownOrAvailable(0.7),because,known(0),or,available(0.7)] [not,infoTradeSecret,because,not,both,infoValuable,and,effortstoMai ntainSecrecy,iSSUE,fAVOURS,dEFENDANT] [no,tradeSecretMisappropriation,because,not,both,secret,and,misappropriated,fIND,for,dEFENDA NT]

Changing a Threshold It is now argued that the bar for reverse engineerability is too low: "Even if resort to the patterns of the plaintiff was more of a convenience than a necessity, still if there was a secret, it belonged to him, and the defendant had no right to obtain it by unfair means, or to use it after it was thus obtained." Tabor v. Hoffman, 118 N.Y. 30, 35, 23 N.E. 12, 13 (1889) Lm threshold from 0.5 to 0.8

Run 3 – Find for Plaintiff ?- go(T). [criminal,because,invasiveTechniques] [illegalMethods,because,criminal] [questionableMeans,because,illegalMethods,qm,preferred,to,lm,college,watercolour] questionableMeans(1) [legitimatelyObtainable(0.4),because,infoKnownToCompetitors(0),or,infoObtainableElsewhere(0.4)] legitimatelyObtainable(0.4) [improperMeans,by,balancing,questionableMeans,against,legitimatelyObtainable,iSSUE,fAVOURS,pLAINTIFF] [infoMiasappropriated,because,improperMeans,iSSUE,fAVOURS,pLAINTIFF] [maintainSecrecyOutsiders(1),becasuse,secretsDisclosedOutsiders(0)] [limitations(1),because,uniqueProduct(0.8),or,maintainSecrecyOutsiders(1)] [not,known,because,limitations,exceeds,threshold,space,aero] [available,rejected,as,default] [knownOrAvailable(0),because,known(0),or,available(0)] [infoUseful(1),because,uniqueProduct,exceeds,threshold] [infoValuable,because,infoUseful,exceeds,threshold] [adequateEfforts,because,securityMeasures,exceeds,threshold,bryce] [effortstoMaintainSecrecy,because,adequateEfforts] [infoTradeSecret,because,both,infoValuable,and,effortstoMaintainSecrecy,iSSUE,fAVOURS,pLAINTIFF] [secretMisappropriated,because,infoMisappropriated,and,infoTradeSecret,iSSUE,fAVOURS,pLAINTIFF] [tradeSecretMisappropriation,because,secretMisappropriated,fIND,for,pLAINTIFF] T = 1.

Run 3 –Key Points [improperMeans,by,balancing,questionableMeans,against,legitimatel yObtainable,iSSUE,fAVOURS,pLAINTIFF] [infoMiasappropriated,because,improperMeans,iSSUE,fAVOURS,pLAINTIFF] [infoUseful(1),because,uniqueProduct,exceeds,threshold] [infoValuable,because,infoUseful,exceeds,threshold] [adequateEfforts,because,securityMeasures,exceeds,threshold,bryce] [effortstoMaintainSecrecy,because,adequateEfforts] [infoTradeSecret,because,both,infoValuable,and,effortstoMaintainSec recy,iSSUE,fAVOURS,pLAINTIFF] [secretMisappropriated,because,infoMisappropriated,and,infoTradeSecret,iSSUE,fAVOURS,pLAIN TIFF]

Change extent It is now argued that the security measures have been over stated: the defendant was left alone in the office and the drawer was unlocked: Compare with precedents where security measures have and have not been deemed adequate. This may lead to a reordering of the dimension points Security measures from 0.6 to 0.4.

Run 4 – Find for Defendant ?- go(T). [criminal,because,invasiveTechniques] [illegalMethods,because,criminal] [questionableMeans,because,illegalMethods,qm,preferred,to,lm,college,watercolour] questionableMeans(1) [legitimatelyObtainable(0.4),because,infoKnownToCompetitors(0),or,infoObtainableElsewhere(0.4)] legitimatelyObtainable(0.4) [improperMeans,by,balancing,questionableMeans,against,legitimatelyObtainable,iSSUE,fAVOURS,pLAINTIFF] [infoMiasappropriated,because,improperMeans,iSSUE,fAVOURS,pLAINTIFF] [maintainSecrecyOutsiders(1),becasuse,secretsDisclosedOutsiders(0)] [limitations(1),because,uniqueProduct(0.8),or,maintainSecrecyOutsiders(1)] [not,known,because,limitations,exceeds,threshold,space,aero] [available,rejected,as,default] [knownOrAvailable(0),because,known(0),or,available(0)] [infoUseful(1),because,uniqueProduct,exceeds,threshold] [infoValuable,because,infoUseful,exceeds,threshold] [reckless,because,securityMeasures,below,threshold,laser,v,eder] [securityFailures,because,reckless] [not,infoTradeSecret,because,not,both,infoValuable,and,effortstoMaintainSecrecy,iSSUE,fAVOURS,dEFENDANT] [no,tradeSecretMisappropriation,because,not,both,secret,and,misappropriated,fIND,for,dEFENDANT] T = 0.

Run 4 – Key Points [improperMeans,by,balancing,questionableMeans,against,legitimatelyObtainable,iSSUE,fAVOURS ,pLAINTIFF] [infoMiasappropriated,because,improperMeans,iSSUE,fAVOURS,pLAINTIFF] [maintainSecrecyOutsiders(1),becasuse,secretsDisclosedOutsiders(0)] [limitations(1),because,uniqueProduct(0.8),or,maintainSecrecyOutsiders(1)] [not,known,because,limitations,exceeds,threshold,space,aero] [available,rejected,as,default] [knownOrAvailable(0),because,known(0),or,available(0)] [infoUseful(1),because,uniqueProduct,exceeds,threshold] [infoValuable,because,infoUseful,exceeds,threshold] [reckless,because,securityMeasures,below,threshold,laser,v,eder] [securityFailures,because,reckless] [not,infoTradeSecret,because,not,both,infoValuable,and,effortstoMaintainSecrecy,iSSUE, fAVOURS,dEFENDANT]

Raise a threshold It is argued that the owners of secrets should be given more protection. That even quite minimal measures, such as putting the papers in a drawer should be considered adequate. Could perhaps cite Mason v Jack Daniels “Mason testified regarding the precautions he took to protect the secrecy of Lynchburg Lemonade.  He testified that he told only a few of his employees—the bartenders—the recipe.  He stated that each one was specifically instructed not to tell anyone the recipe.  To prevent customers from learning the recipe, the beverage was mixed in the "back" of the restaurant and lounge.  Mason's testimony was largely confirmed by that of his employees and past employees. “ Re threshold from 0.5 to 0.3

Run 5 – Find for Plaintiff ?- go(T). [criminal,because,invasiveTechniques] [illegalMethods,because,criminal] [questionableMeans,because,illegalMethods,qm,preferred,to,lm,college,watercolour] questionableMeans(1) [legitimatelyObtainable(0.4),because,infoKnownToCompetitors(0),or,infoObtainableElsewhere(0.4)] legitimatelyObtainable(0.4) [improperMeans,by,balancing,questionableMeans,against,legitimatelyObtainable,iSSUE,fAVOURS,pLAINTIFF] [infoMiasappropriated,because,improperMeans,iSSUE,fAVOURS,pLAINTIFF] [maintainSecrecyOutsiders(1),becasuse,secretsDisclosedOutsiders(0)] [limitations(1),because,uniqueProduct(0.8),or,maintainSecrecyOutsiders(1)] [not,known,because,limitations,exceeds,threshold,space,aero] [available,rejected,as,default] [knownOrAvailable(0),because,known(0),or,available(0)] [infoUseful(1),because,uniqueProduct,exceeds,threshold] [infoValuable,because,infoUseful,exceeds,threshold] [adequateEfforts,because,securityMeasures,exceeds,threshold,bryce] [effortstoMaintainSecrecy,because,adequateEfforts] [infoTradeSecret,because,both,infoValuable,and,effortstoMaintainSecrecy,iSSUE,fAVOURS,pLAINTIFF] [secretMisappropriated,because,infoMisappropriated,and,infoTradeSecret,iSSUE,fAVOURS,pLAINTIFF] [tradeSecretMisappropriation,because,secretMisappropriated,fIND,for,pLAINTIFF] T = 1.

Run 5 – Key Points [improperMeans,by,balancing,questionableMeans,against,legitimatelyObtainable,iSSUE,fAVOURS,pL AINTIFF] [infoMiasappropriated,because,improperMeans,iSSUE,fAVOURS,pLAINTIFF] [maintainSecrecyOutsiders(1),becasuse,secretsDisclosedOutsiders(0)] [limitations(1),because,uniqueProduct(0.8),or,maintainSecrecyOutsiders(1)] [not,known,because,limitations,exceeds,threshold,space,aero] [available,rejected,as,default] [knownOrAvailable(0),because,known(0),or,available(0)] [infoUseful(1),because,uniqueProduct,exceeds,threshold] [infoValuable,because,infoUseful,exceeds,threshold] [adequateEfforts,because,securityMeasures,exceeds,threshold,bryce] [effortstoMaintainSecrecy,because,adequateEfforts] [infoTradeSecret,because,both,infoValuable,and,effortstoMaintainSecrecy,iSSUE,fAVOURS,pLAINTIFF] [secretMisappropriated,because,infoMisappropriated,and,infoTradeSecret,iSSUE,fAVOURS,pLAINTIFF]

Change of Weights Finally we can argue about the weights used to determine improperMeans. Currently it is held that questionable methods and legitimate method are weighted equally, But it might be argued that if the secret was obtained using both legitimate and illegitimate means, then the questionable means should be ignored to a considerable extent (“all is fair in love, war and business”). Essentially we are accepting the defendant’s argument that the information could have been obtained from the Chinese company and this renders the questionable means actually used irrelevant. This argument does go against College Water Colour v Newbauer: “This Court, however, will not put a stamp of approval on the use of misrepresentations and espionage as means that fall within the "generally accepted standards of commercial morality and reasonable conduct.", but is was put forward by Newbauer in that case. It could, however, be argued that the legitimate obtainability available to Newbauer was very low, and so College Watercolor would remain a plaintiff case on the new weights, and that business ethics had become relaxed since 1976. Weight lm from 1 to 3

Run 6 – Find for Defendant ?- go(T). [criminal,because,invasiveTechniques] [illegalMethods,because,criminal] [questionableMeans,because,illegalMethods,qm,preferred,to,lm,college,watercolour] questionableMeans(1) [legitimatelyObtainable(0.4),because,infoKnownToCompetitors(0),or,infoObtainableElsewhere(0.4)] legitimatelyObtainable(0.4) [improperMeans,rejected,by,balancing,questionableMeans,against,legitimatelyObtainable,iSSUE,fAVOURS,dEFENDANT] [gaveAdvantage(0),because,broughtTools(0),or,competitiveAdvantage(0)] [gaveHelp(0),because,identicalProducts(0),or,gaveAdvantage(0)] [not,breachOfConfidence,because,not,both,infoUsed,and,confidentialRelationship,iSSUE,fAVOURS,dEFENDA NT] [not,infoMiasappropriated,because,not,shown,iSSUE,fAVOURS,dEFENDANT] [no,tradeSecretMisappropriation,because,not,both,secret,and,misappropriated,fIND,for,dEFENDANT] T = 0.

Run 6 – Key Points legitimatelyObtainable(0.4) [improperMeans,rejected,by,balancing,questionableMeans,against,legitimatelyO btainable,iSSUE,fAVOURS,dEFENDANT] [gaveAdvantage(0),because,broughtTools(0),or,competitiveAdvantage (0)] [gaveHelp(0),because,identicalProducts(0),or,gaveAdvantage(0)] [not,breachOfConfidence,because,not,both,infoUsed,and,confidential Relationship,iSSUE,fAVOURS,dEFENDANT] [not,infoMiasappropriated,because,not,shown,iSSUE,fAVOURS,dEFEN DANT]

Types of Acceptance Conditions Conjunction and Disjunction Preference – Led Exceptions Meaning – Led Exceptions Comparison with thresholds Weighted Sums to resolve balances and trade offs.

Roles of Magnitudes Used to determine extent to which factor is present given the facts Used to determine whether the extent is sufficient (comparison with thresholds) In Boolean version such as CATO, these two roles are conflated and the decisions made by the analyst when representing the case. Used to resolve balances with other factors and trade offs.

Roles of Values Enable use of preference led exceptions. If value promoted by the exception is not preferred, there is no exception. Justify thresholds. Importance of value affects threshold, but there is no comparison Determine weights Relative importance of two values Preferences are Derived from precedents, or general social ideas Are local to nodes (Portions of precedent)